This two-day seminar is designed for people new to the securities industry or who desire a broader industry background. It is designed to introduce all of the important concepts in securities processing and forms a basis for other SOF courses. Upon completion of the program, participants will have a comprehensive overview of the U.S. financial services industry.
The seminar will cover the roles of the major players in the securities business, including banks, broker/dealers, mutual funds, and the issuers of securities; the customers and their needs; the specifics of common and preferred stock and fixed income securities and the functions of the New York Stock Exchange and the NASDAQ marketplace.
